Broker-Dealers

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Morgan Stanley Says New York Attorney General May File Lawsuit

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Morgan Stanley said the N.Y. Attorney General's office indicated it would file a lawsuit accusing it of misrepresenting or omitting material information in about 30 subprime securitizations.

Sailing To The Coasts

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Martin Bicknell's rollup firm Mariner Wealth has been aggressively acquiring RIAs and investment managers.

Youth Shall Be Served Among Advisors (Hopefully)

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It’s clear that advisor firms need to replenish advisor headcount and to engage with younger investors.

Goldman Employees Reaped $2 Billion From 2008 Options Last Year

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While Goldman Sachs Group Inc. employees may get less compensation than in the past, many cashed in last year for a payday they’ve been awaiting since the depths of the financial crisis.

First Allied Teams Up With Tambaro Financial Services

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First Allied Securities will provide broker-dealer and custodial services to the newly created enterprise founded by Art Tambaro, former CEO of Royal Alliance.

Cetera Partners With Envestnet On Retirement Platform

by FA Staff

Cetera Financial Group is partnering with Envestnet to build out a retirement plan platform across its network of nine different broker-dealers.

Charles Schwab Says It Seeks New CFO

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Charles Schwab Corp. is searching for a new CFO and is weeks away from introducing its ETF robo-advisor platform, says CEO Walt Bettinger.

Raymond James Recruits Advisor From Edward Jones

by FA Staff

Billy Belcher has joined the firm in Texas. 


UBS Drove Brokers To Sell High-Risk Puerto Rico Funds, Recording Shows

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In April 2011, two years before their prices sank, a slew of bond funds that were being sold by UBS's Puerto Rico arm appeared to its brokers to be such risky investments that they balked at...

Cetera Financial Institutions Hires VP Of Business Development

by FA Staff

Kyle Hallman will lead recruitment of bank’s investment programs in the eastern part of U.S.

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